2024081403001 Scott Lewis CRD 3117679 AWC lp (2024-1718324411781).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2024081403001
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Scott Lewis (Respondent)
Investment Company and Variable Contracts Products Representative
CRD No. 3117679
Pursuant to FINRA Rule 9216, Respondent Scott Lewis submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2018056483905 Arive Capital Markets CRD 8060 AWC lp (2024-1718324412804).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018056483905
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Arive Capital Markets (Respondent)
Member Firm
CRD No. 8060
Pursuant to FINRA Rule 9216, Respondent Arive Capital Markets submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021072680701 Buckman, Buckman & Reid, Inc. CRD 23407 AWC lp (2024-1718324409290).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072680701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Buckman, Buckman & Reid, Inc. (Respondent)
Member Firm
CRD No. 23407
Pursuant to FINRA Rule 9216, Respondent Buckman, Buckman & Reid, Inc. submits this Letter
of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2023080255801 Paul R. Fehrenbach, Jr. CRD 2390131 AWC lp (2024-1718324410979).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023080255801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Paul R. Fehrenbach Jr. (Respondent)
Former General Securities Representative
CRD No. 2390131
Pursuant to FINRA Rule 9216, Respondent Paul R. Fehrenbach Jr. submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021072830601 Ariel Rivero CRD 4236679 AWC lp (2024-1718324411642).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021072830601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Ariel Rivero (Respondent)
General Securities Representative
CRD No. 4236679
Pursuant to FINRA Rule 9216, Respondent Ariel Rivero submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.